| 20-01986 | 02/09/2022 | Claimant(s): Michael Lyublinsky
Claimant Lawyers(s): Todd Gutfleisch
Respondent(s): NatWest Markets Securities Inc.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Joseph J. Arata, Harvey Barrison, Donald Davis Capelin
Hearing Site: New York, NY
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| 16-02593 | 10/29/2019 | Claimant(s): Alexandre Santos
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Citigroup Global Markets., Citibank, N.A.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Michael J McAllister, Daniel Robbins, Richard Gee
Hearing Site: New York, NY
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| 18-00013 | 01/10/2019 | Claimant(s): James Elam
Claimant Lawyers(s): James Warren Elam
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Matthew R. Salamon, Mary Esther Escobedo, Joseph Neal Richardson
Hearing Site: Little Rock, AR
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| 15-00321 | 06/22/2017 | Claimant(s): David Murphy
Claimant Lawyers(s): John D. Singer
Respondent(s): Citigroup Global Markets., Citicorp Securities Services.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Linda S. Cole, Leslie Ruth Nydick, Anthony Dennis Perri
Hearing Site: New York, NY
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| 14-01476 | 04/25/2016 | Claimant(s): Ilan Preis
Claimant Lawyers(s): Ilan Preis
Respondent(s): Avi Jankelovits, Blair Nelson, Christopher Alexis, Citigroup Global Markets., Robert Papaleo
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Kenneth L. Stewart, Elizabeth Gilbert, Michael S. Perinelli
Hearing Site: New York, NY
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| 14-01296 | 05/01/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Joseph Baumgarten
Respondent(s): Michael Dickstein
Respondent Lawyers(s): Todd Gutfleisch
Arbitrator(s): James J. Brearton, Richard D. Rosenbloom, James Howard Pulver
Hearing Site: Syracuse, NY
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| 13-03397 | 04/28/2015 | Claimant(s): David Olson
Claimant Lawyers(s): William Keith Watanabe
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Jeffrey A. Sonshine, Howard D. Jacob, Evan L. Gordon
Hearing Site: New York, NY
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| 12-04361 | 04/16/2014 | Claimant(s): Ilan Preis
Claimant Lawyers(s): Daniel J. Kaiser
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Ted M. Rosen, Lori H. Carena, Jeffrey P. Bachmann
Hearing Site: New York, NY
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| 11-00598 | 08/15/2013 | Claimant(s): Serge Nahas
Claimant Lawyers(s): Theodore G. Eppenstein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): David Finnegan, Keely D. Parr, Linda J. Baer, Michael F. Spellman
Hearing Site: New York, NY
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| 09-01417 | 12/28/2012 | Claimant(s): Jennifer Frame-Tunney
Claimant Lawyers(s): David B. Wechsler
Respondent(s): J.P. Morgan Securities.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Peter P. Skomorowsky, Mary Lou McGanney, Lawrence B. Schiffman
Hearing Site: New York, NY
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